Renee Rettig

About Renee Rettig

Attorney and Compliance Officer with more than 30 years in-house experience at major…

Experience

1. Senior Vice President, Senior Compliance Officer

   Citi

   Apr 2011 — Present · New York, NY, US

   I support all the CGMI retail wealth management businesses, focusing on regulatory exam management and advisory, the seniors and vulnerable adults exploitation response team and compliance training. • Manage Regulatory Exams for retail wealth businesses. • Coordinate timely responses with the Business and other stakeholders to manage risk and cooperate with regulators. • Interface with regulators during on-site exams. • Report on a monthly and quarterly basis to various forums and committees on regulatory exams and training. • Participate and act as the ICRM Subject Matter Expert in the Elder and Vulnerable Adult Exploitation Response team and other related Firm and Industry (SIFMA) panels.• Create ICRM training for Seniors and Vulnerable Adults, Annual Compliance Meeting, Uniform Gift to Minors, Municipal Trading, Fiduciary.• Work closely with the Wealth Academy to create audiences and roll out training.• Engage in Policy review and Regulatory Change Management review in areas where my subject matter expertise is needed.• Act in an advisory capacity and provide credible challenge to the Business in a variety of areas.

Education

• Stuyvesant High School

  Diploma, College Prep

  1980 — 1984

• Brandeis University

  BA, History/American Studies

  1984 — 1988

• Fordham University School of Law

  JD, Law

  1988 — 1991

Skills

• Anti Money Laundering
• Mediation
• Document Review
• Dispute
• Mutual Funds
• Risk
• Licensing
• Legal Research
• Legal Advice
• Financial Risk
• Compliance
• Due Diligence
• Hedge Funds
• Ofac
• Securities Litigation
• Privacy Law
• Commercial Litigation
• Corporate Law
• Aml
• Employment Law
• Legal Compliance
• Arbitration
• Legal Writing
• Litigation
• Finra
• Securities Regulation
• Securities
• Corporate Governance